Associate, Regulatory Client Outreach

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What You’ll Be Doing

Client Services and Data Management (CS&DM) has the mandate to onboard direct clients, funds, shared clients, and broker counterparties for the Capital Markets lines of business, as well as to manage a robust and effective client lifecycle process for Capital Markets clients. The CS&DM team is responsible for end-to-end client onboarding activities within the specified space, which consists of client data and information collection through research and interaction with numerous stakeholders, including Front Office, Legal Documentation, Credit, Operations, and clients. Accurate client data is captured, validated, stored, and maintained throughout the client’s lifecycle with CIBC Capital Markets, together with supporting documentation, to meet various regulations and reporting needs. It is the responsibility of this team to ensure that all existing and new regulatory requirements are adhered to by collecting the necessary data and documentation from clients and storing this information in the appropriate book of record systems.

Reporting to the Director, you’ll execute and/or facilitate the investigation, assessment, and regulatory client outreach activities to ensure all existing and new regulatory requirements have been met. You’ll assist the Director in various ad-hoc or business as usual (BAU) projects and strategy initiatives led by the Head of CS&DM. Participation and support of strategic initiatives will be required including any large scale global capital markets regulatory remediation projects.
- At CIBC we enable the work environment most optimal for you to thrive in your role._ _Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview._

How You’ll Succeed- Targets: You’ll be required to meet established individual and team activity targets and SLA’s while managing tasks in a fast and dynamic working environment. The expectation is to execute responsibilities with efficiency and high level of accuracy with attention to detail.- Organization & Process Improvement: You’ll maintain the regulatory tracker for client outreach and carry out inquiries to resolve each item on the tracker, as needed. Execute prioritized tasks based on deadlines associated with front office or senior management requests. Identify opportunities for automation and enhancements to current processes and procedures that support operational efficiencies and contribute to an improved client service relationship with Capital Markets.- Mentoring & Development: You’ll train and perform knowledge transfer to junior and fellow colleagues on various regulatory topics and processes. Create training material and job aids for training new and junior colleagues by sharing knowledge and experience related to the job mandate.

Who You Are- You have a university degree with a background in legal, finance, accounting or related field.- You can demonstrate a minimum of 5 years of experience in the area(s) of Regulatory Compliance, Client Onboarding, Trade Control/Trade Desk Support or Operations preferably in the Capital Markets line of business. Strong track record of execution and impact in a financial institution and/or risk oriented setting. You have advanced project management, planning and organizational skills.- You can demonstrate experience working with Capital Markets clientele, business and product knowledge to easily understand and support the client onboarding lifecycle across Sales/Trading, Lending and Advisory services globally. Familiarity with Institutional clients: Asset Managers, Insurance Companies, Pensions, Sovereign Wealth Funds, etc. Knowledge of Retail, Commercial and Wealth business and their clients within CIBC or other Banks is an asset.- You have knowledge and professional experience working with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices. In particular knowledge of regulatory regimes such as Dodd Frank (CFTC & SEC), CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS, CIRO (IIROC), etc.) is considered a key asset. Supplementary regulatory knowledge and experience with AML/KYC and Taxation (FATCA, CRA, 871M, etc) requirements are beneficial.- You're digitally savvy. You seek out innovative solutions and embrace evolving technologies. You can easily adapt to new tools and trends. Experience working with onboarding and data management software/systems is an asset.- You're passionate about people. You find meaning in relationships and surrou